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AP

Alex J. Patterson

FINANCIAL PLANNING ADVISORS
Wyomissing, PA 19610
Some features on this profile are disabled
CRD#: 5819447
AP

Professional summary

Alex James Patterson, who also goes by Aj Patterson, is a registered financial advisor currently at FINANCIAL PLANNING ADVISORS INC. located in Wyomissing, Pennsylvania and LPL FINANCIAL LLC located in Wyomissing, Pennsylvania.

Alex is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Alex has worked at 2 firms and has passed the Series 63, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Aj Patterson

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alex James Patterson's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

February 18, 2021 - Present

FINANCIAL PLANNING ADVISORS INC.

Office #1: 1122 Penn Avenue, Wyomissing, PA 19610
RIA
CRD#: 121691
Wyomissing, PA
Current

June 24, 2021 - Present

LPL FINANCIAL LLC

Office #1: 1122 Penn Avenue, Wyomissing, PA 19610-2034
RIA
BD
CRD#: 6413
Wyomissing, PA
Past

March 30, 2022 - June 29, 2022

LPL FINANCIAL LLC

RIA
CRD#: 6413
PITTSBURGH, PA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

IAR
Pennsylvania
(2/18/2021)
RR
Pennsylvania
(10/1/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 10/1/2021
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 6/24/2021
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 2/5/2021
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

FP
FINANCIAL PLANNING ADVISORS INC.
FINANCIAL PLANNING ADVISORS INC.

CRD#: 121691 / SEC#:

Arizona
Registered Investment Advisory firm - (12/19/2019 Terminated)
Pennsylvania
Registered Investment Advisory firm - (3/24/1988 Approved)
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Contact information

Main Address
1122 Penn Avenue, Wyomissing, PA 19610
Mailing Address
Phone number
(610) 376-6334
Established
Firm type
Fiscal year end
# of Employees
5

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts390
AUM (Assets Under Management)$ 105,011,173

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

FINANCIAL PLANNING ADVISORS INC.

CRD#: 121691Wyomissing, PA 19610

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